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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Newbie Corporation is considering the possibility of an interstate initial public offering (IPO) of its stock. In the initial meetings with BigFee Investment Bankers, Newbie has learned that the underwriting spread will be
15%. Although the actual offering price won't be set until Newbie's registration statement is approved by the SEC, BigFee has indicated that the offer price will probably be between $3 and $4 a share and that the stock will initially be listed on the OTC Bulletin Board.
What methods for state registration does Newbie have available?
I. registration by coordination
II. registration by notification
III. registration by qualification

A) Newbie may elect to register by any one of the above methods although registration by qualification would be the most burdensome choice.
B) Method II only
C) Method I only
D) Methods I and III only

2. To continue operating as an agent, broker-dealer, investment adviser, or investment adviser representative next year, you must pay the filing fee to renew your license with the state Administrator by

A) December 31st of this year.
B) January 15th of the new year.
C) the anniversary date of the original issue date on your license.
D) January 30th of the new year.

3. You had the misfortune of working as a registered agent for an unscrupulous broker-dealer. You weren't privy to any of it, but apparently, your broker-dealer was guilty of some fraudulent activities and has had his license revoked. In this instance,

A) you are no longer a licensed agent with the state and must reapply for a license in order to work for another broker-dealer.
B) the state Administrator will assign you and any other affected agents to work for other broker-dealers registered with the state.
C) you must wait until the broker-dealer's day in court before you can work in the securities industry again because the Administrator will want to be certain that you knew nothing of it.
D) you can simply find another broker-dealer to hire you and have your license transferred to him.

4. Stable Corporation registered a bond issue that it plans to offer for sale in the state with the Administrator.
The bond has a par value of $1,000 and will pay interest of 7% a year, with the principal to be repaid in 5 years. The registration became effective on September 8th. The registration is effective

A) for one full year.
B) for two full years.
C) until December 31st of the same year
D) until the maturity date on the bond.

5. Which of the following scenarios does not meet the definition of "custody" under NASAA Model Rules?

A) An investment adviser is mistakenly sent a client's securities, but returns them to the sender within three business days of receipt.
B) An investment adviser receives a check from a client that is written to a mutual fund and forwards the check to the mutual fund within three business days of receipt.
C) An investment adviser keeps a client's securities in its safety deposit box.
D) An investment adviser has general power of attorney for a client and is authorized to withdraw client funds or securities that are on deposit with a registered broker-dealer upon the investment adviser's request.

Solutions: